ROGER S. STERN

Results-oriented manager with more than 15 year’s experience in the financial services industry. Specific accomplishments and recognized expertise in project management, mutual fund operations, portfolio management, and client services. Proven track record of effectively managing new projects, while interactive with management at all levels. Prior to working at Coldwell Banker, I was on SS disability. I have experience in construction, floor covering, and steel construction. I owned my own material handling construction (steel) company.

• Yuereka Home Remodelling, 01/20, 04/20, Sales, Meet with prospective clients in their homes to sell roofing, siding, windows and doors.
• Carpetmart, 01/19, 03/19, Sales, Meet with prospective clients to present flooring samples and submit bids for prospective jobs.
• Empire Today, 01/18, 03/18, Sales, Meeting with prospective clients to present carpet samples and submit bids for prospective jobs.
• Coldwell Banker, 06/15, 05/16, Sales & Financing, Contacting prospective clients for real estate and financing needs.
• UBS Global Asset Management Inc., a subsidiary of UBS Inc, 06/93, 03/05, Associate Director - Mutual Fund Administration – Product Specialist, Managed transfer agent staff of six client service advisors, one supervisor, and one manager of transfer agent relationship for client services and operations for the UBS Institutional Money Market Funds., Implemented remote listening capabilities to ensure quality of calls and orders taken by various client service advisors., Established premiere direct line for several UBS Financial Services financial advisors., Worked with UBS Financial Services to help implement the 'UBS Institutional Money Markets Fund' re-write allowing financial advisors to place orders via the UBS trading system., Implemented quality control procedures to minimize trading and processing errors by the transfer agent., Designed and produced reports, ensuring commission payments, and managed all operational aspects for the UBS Institutional Money Market funds., Prior holder of series 7, 63, and 65 securities licenses., Worked with the portfolio management team and assumed operational functions for the Quantitative Allocation Hedge Fund., Established schedule to ensure operational deliverables from the transfer agent were met on time each month (e.g. file transmissions for 12B1s, account value updates, etc.)., Ensured all commissions and 12B1 fees paid to various UBS Financial Services financial advisors., Supervised five (5) portfolio assistants who ensured timely trades settlement via Alert, Oasys, D.T.C Trade Suite., Project Manager, Portfolio Assistant and Trader, Fixed Income and Equity Trade Settlement and Reconciliation Supervisor., Portfolio Manager for RMA Government Money Market Fund. Also managed short term cash allocations of various UBS Mutual Funds. Investments consisted primarily of repurchase agreements, treasury bills, treasury notes and discount agencies. Instrumental in the development and implementation of the Securities Lending Program involving over 30 mutual funds. Determined investments for the program involving agency discount notes, repurchase agreements and external money market mutual funds based on current market indicators. Engaged in individual / average pricing of investment instruments (e.g., CDs, C.P., MTNs)., Wrote and tested compliance rules and guidelines for various institutional, trusts, and high net-worth individual’s accounts for the Merrin trading system.
• Allied Installations – Material Handling Equipment Company, 01/91, 06/93, President, Responsible for installation, scheduling, managing my team (up to 15 mechanics), and meeting with salespeople for the installation of various material handling equipment for clients throughout the NY, NJ, and the Pennsylvania area.
• Richie’s Bay Ridge Carpet, 01/89, 01/91, Manager, Responsible for managing inventory, assigning work orders, meeting with salespeople, and sales to customers.
• NYC Construction Union, 09/87, 01/89, Member, Member of local union 608 and floor coverers union in NYC.